UPPS 04.05.22 - Continuity of Operations Planning

POLICY STATEMENT

Texas State University is committed to establishing and maintaining a robust Continuity of Operations Plan designed to delineate the necessary procedures for restoring day-to-day operations following an extended emergency or enduring disruption.

1. BACKGROUND INFORMATION

   1. Continuity of operations planning ensures that critical operations and essential functions of Texas State University continue to be performed during an emergency. Continuity of operations planning is an ongoing process that includes the following elements: identification of essential functions, delegations of authority, orders of succession, communication, vital records and data, continuity facilities, reconstitution, testing, training and exercise, risk assessment, recovery strategies, and a disaster recovery plan.

   2. The campus-wide Continuity of Operations Plan (COOP) is a requirement of the State Office of Risk Management’s policy on Continuity Planning for Texas State Agencies, as stated in Texas State Agency Continuity Planning Policy Guidance Letter dated October 24, 2013, Texas Essential Functions, and the Texas Labor Code, Section 412.054.

2. SCOPE

   1. Texas State will maintain a university-wide COOP per the regulations and guidance listed in Section 01.02. In addition, this policy outlines the requirements for colleges, divisions, departments, and other areas regarding continuity planning. The individual COOP will contribute to the development of the college or division COOP and the identification of risks that will impact the college or division. The college or division COOP will contribute to the development of the Texas State COOP program.

3. DEFINITIONS

   1. Continuity of Operations Plan (COOP) – plan which ensures the university’s primary essential functions continue to be performed throughout, resume quickly, and return to normal operations during a wide range of emergencies.

   2. Continuity of Operations Plan Coordinator – individual that is trained in continuity planning and certified by a recognized organization such as the FEMA Emergency Management Institute (Continuity Practitioner Level I or Level II), or Disaster Recovery Institute International (Certified Professional, such as ABCP, CFCP, CBCP or MBCP).

   3. Continuity of Operations Plan Point of Contact (POC) – individual selected by the college or division that will be responsible for coordinating Continuity of Operations planning for their college or division and will also serve as a liaison to the Environmental, Health, Safety, Risk and Emergency Management (EHSREM) Department.

   4. Emergency Management Committee – a group of key university partners in essential departments of Texas State. Responsibilities include, but are not limited to, the following actions:

      1. assisting in the creation of the Texas State COOP;

      2. ensuring university compliance with state and federal regulations;

      3. planning section creation and review;

      4. creating and reviewing an appendix; and

      5. performing as the Emergency Relocation Group for the Texas State San Marcos and/or Round Rock campuses.

   5. Essential Functions – functions that must continue or rapidly resume after a disruption of normal activities.

4. CONTINUITY PLANNING PROCEDURES

   1. EHSREM is responsible for the oversight of the COOP Program for Texas State and has the following responsibilities regarding continuity planning:

      1. creating and maintaining the Texas State COOP;

      2. maintaining a Continuity of Operations Coordinator for Texas State, and performing the liaison role to the State Office of Risk Management regarding continuity of operations planning;

      3. chairing, leading, and directing the Emergency Management Committee for Texas State;

      4. exercising the Texas State COOP annually;

      5. maintaining the COOP template for use by campus divisions, colleges, departments, and other areas;

      6. maintaining the Continuity of Operations training program;

      7. maintaining an annual repository for all divisions, college, and department COOPs as a secondary location in the event of an emergency and the department is unable to access their copy;

      8. following all required policy guidelines dictated by the State Office of Risk Management and elements of the Texas Continuity Policy; and

      9. ensuring compliance and alignment with the TSUS contingency planning policy.

   2. The college or division COOP POC responsibilities include the following:

      1. serving as the liaison for their respective college or division with EHSREM regarding Continuity of Operations planning matters;

      2. ensuring that all departments within their college or division complete a COOP using the COOP template on the Texas State Ready website;

      3. ensuring that the department plans have been approved by the appropriate department head and submitting them to EHSREM on or before June 1st annually;

      4. ensuring that the information gathered from the departmental COOP has been reviewed and prioritized for use in the college or division COOP as needed;

      5. compiling the information gathered in the “Vulnerability/Risk Assessment and Mitigation Strategies” section of the department COOP to assist in the identification of vulnerabilities/risks for the college or division;

      6. ensuring that a college or division level COOP has been completed and approved by the dean or appropriate vice president;

      7. ensuring that executed college or division COOP is submitted to the Texas State Ready database on or before June 1st annually; and

      8. ensuring that each information system owner’s COOP includes the required contingency planning elements for the information systems for which they have custodial or ownership responsibilities, as outlined in Section 05. of UPPS No. 04.01.01, Security of Texas State Information Resources.

   3. The Emergency Management Committee will:

      1. review and amend the Texas State COOP under the direction of the Emergency Management Committee Chair;

      2. review and suggest updates of COOP database accounts during annual plan completeness checks;

      3. create, review, and amend the appendices of the Texas State COOP under the direction of the Emergency Management Committee Chair; and

      4. act as the subject matter expert for the area/group they represent within the Emergency Management Committee.

5. REVIEWERS OF THIS UPPS

   1. Reviewers of this UPPS include the following:

      Position	Date
      Director, Environmental, Health, Safety, Risk and Emergency Management	November 1 E3Y
      Associate Vice President for Human Resources	November 1 E3Y
      Associate Vice President for Institutional Compliance and Chief Compliance Officer	November 1 E3Y

6. CERTIFICATION STATEMENT

   This UPPS has been approved by the following individuals in their official capacities and represents Texas State policy and procedures from the date of this document until superseded.

   Director of Environmental, Health, Safety, Risk and Emergency Management; senior reviewer of this UPPS

   Executive Vice President for Operations and Chief Financial Officer

   President